Denise Marie Peskar of Mayfield Heights Ohio a broker formerly registered with Pruco Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that she failed to respond to a FINRA information request. Letter of Acceptance Waiver and Consent No. 2018059051901 (Dec. 21, 2018).
FINRA Public Disclosure reveals that FINRA inquired into Peskar’s activities in 2018; however, Peskar failed to respond to that inquiry. As a result, Peskar was provided a Notice of Suspension on September 18, 2018 and a Suspension from Association letter on November 2, 2018. Apparently, at the time of Peskar’s suspension, FINRA warned her that her continued lack of compliance would serve as a basis for FINRA to more severely sanction her. Nevertheless, Peskar reportedly failed to cooperate with FINRA by the December 20, 2018 deadline. Consequently, FINRA barred Peskar in all capacities the following day.
FINRA may have been examining the basis of Pruco Securities LLC’s termination of Peskar on June 8, 2018. Specifically, the firm terminated Peskar founded on accusations that she entered into an unapproved customer loan arrangement.
